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Fort Wayne IN 46802-2374 U.S.A. Allen Co. View Map

Business

Independent Director Audit Committee Requirements for New York Stock Exchange Companies
Independent directors must make up the majority of the board of directors of a company listed on the New York Stock Exchange. In addition, listed companies must have several committees made up entirely of independent directors, including the Audit Committee. More...
Section 31 or SEC Transaction Fees
Under Section 31 of the Securities Exchange Act of 1934, 15 U.S.C.S. § 78ee, the Securities and Exchange Commission recovers costs of regulating securities markets and transactions. Section 31 fees, which exceeded $1 billion in 2004, are "designed to recover the costs to the Government of the supervision and regulation of securities markets and securities professionals, and costs related to such supervision and regulation, including enforcement activities, policy and rulemaking activities, administration, legal services, and international regulatory activities." 15 U.S.C.S. § 78ee(a). More...
Securities Trading Halts, Delays, and Suspensions
The Securities and Exchange Commission may suspend trading in a security for up to ten days. Securities exchanges such as the New York and American Stock Exchanges and Nasdaq may delay trading in a security at the beginning of a trading day or halt trading in a security during the trading day. More...
The Rule 504 Exemption From Registration Requirements For Small Securities Offerings
Prior to offering and selling its stock to the public, a company normally must prepare and file with the Securities and Exchange Commission a detailed registration statement containing a prospectus with audited financial statements for distribution to potential purchasers and other information for review by Commission staff. However, there are exemptions from such registration requirements for certain categories of offerings that are small in value or sold to restricted categories of purchasers. More...
Initial Public Offerings & the Securities Act of 1933> Registration of Securities> Registration Statement Filing
Pros and Cons for a Company Going Public More...

Office Hours

Monday08:30 AM - 05:00 PMTuesday08:30 AM - 05:00 PMWednesday08:30 AM - 05:00 PMThursday08:30 AM - 05:00 PMFriday08:30 AM - 05:00 PM

Areas Of Practice

  • Banking Law
  • Bankruptcy
  • Collections
  • Commercial Litigation
  • Commercial Transactions
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